Our Staff has compiled our research into a database of FINRA Broker Disclosures. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Grant Hoffman | 1490707 | 1 | 11/02/2006 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| John Stephen Putnam | 369059 | 7 | 06/26/2006 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Roger Goren | 1094473 | 3 | 04/14/2006 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Coe Milton Magruder | 1399157 | 2 | 01/31/2006 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Bruce Edward Ventimiglia | 863761 | 1 | 08/26/2005 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Sam Pieh | 1321892 | 10 | 08/09/2005 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Donald Francis Claycomb | 2970004 | 1 | 07/20/2005 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Paul William Michel | 829098 | 2 | 06/30/2005 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Thomas Gordon Cloud | 3021086 | 7 | 11/08/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Ryan Gary Atkinson | 3029906 | 1 | 10/04/2004 | Investigation | $0.00 | $0.00 | See FINRA Report |